Compliance Specialist Jobs in Brea, CA
A Compliance Specialist in the finance industry is primarily responsible for ensuring that the organization adheres to a variety of regulations, laws, and professional standards. They monitor, evaluate and communicate the organization's compliance status with respect to these regulations. They often conduct regular audits, implement compliance strategies, and provide compliance training to employees. Some Compliance Specialists may also be involved in developing targeted risk assessment methodologies, carrying out specific risk assessments, and building risk management plans.
Important skills for a Compliance Specialist include strong analytical abilities, excellent attention to detail, and solid communication skills. Knowledge of regulatory laws and standards in the finance industry is crucial. Compliance Specialists should also be able to use auditing software and other tools. In terms of certification, Certified Regulatory Compliance Manager (CRCM) is a popular one, while Certified Anti-Money Laundering Specialist (CAMS) and Certified Financial Crime Specialist (CFCS) are also useful. Previous job roles for someone considering becoming a Compliance Specialist may include Compliance Analyst, Risk Analyst, or Regulatory Affairs Specialist.
Compliance Associate (BELL GARDENS, CA. 90201)
- Fortiss
- Bell Gardens, CA (17 miles from Brea, CA)
- 5 days ago
- Bell Gardens, CA (17 miles from Brea, CA)
- 5 days ago
Overview Parkwest Bicycle Casino is looking for an enthusiastic, motivated Compliance Associate to join our team. We are seeking a team player who wil provide clerical support to our Compliance...
In Person- OnTrac
- Commerce, CA (15 miles from Brea, CA)
- 6 days ago
- Commerce, CA (15 miles from Brea, CA)
- 6 days ago
OnTrac is hiring a Compliance Associate! Are you eager to join a dynamic and expanding company where you can both learn and make a meaningful impact? If you possess a strong sense of empathy,...
In PersonCompliance Officer, Compliance Distribution
- Pacific Investment Management Company, LLC
- Newport Beach, CA (23 miles from Brea, CA)
- 7 days ago
- Newport Beach, CA (23 miles from Brea, CA)
- 7 days ago
PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients capital across a range of fixed income and credit opportunities,...
In PersonCompliance and Risk Analyst II-ALM/IRR
- INSPYR Solutions
- Los Angeles, CA (21 miles from Brea, CA)
- 20 days ago
- Los Angeles, CA (21 miles from Brea, CA)
- 20 days ago
Role : Compliance and Risk Analyst II-ALM/IRR Location : Los Angeles, CA Duration : 4+ month Contract Compensation : $40.00 - 48.00/hr Work Requirements: US Citizen, GC Holders or Authorized to...
In PersonSVP, Senior Compliance Officer
- PIMCO
- Newport Beach, CA (23 miles from Brea, CA)
- 45+ days ago
- Newport Beach, CA (23 miles from Brea, CA)
- 45+ days ago
Personal trade surveillance Electronic communications monitoring (e communications) Political contributions Proxy voting Strong understanding of global equity and fixed income markets, including bonds, equities...
In PersonDemographic Data for Brea, CA
Moving to Brea, CA? Find some basic demographic data about Brea, CA below.
Compliance Specialist Online Courses and Training Opportunities
Title Synonyms
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Salary for Compliance Specialist Jobs in Brea, CA
Required or preferred licenses and certifications for Compliance Specialist positions.
Highest Education Level
Compliance Specialists in Brea, CA offer the following education backgroundQualifications / Skill Sets
The following top skills are often required or desired to land a Compliance Specialist position
- Engineering
- ISO Certified
- Product Development
- Medical Device Sales
- FDA Regulations
- ISO 13485
- Internal Audits
- OFAC
- 21 CFR 820
- Tila Respa Integrated Disclosures
- Equities
- Management Reporting
- Securities and Exchange Commission
- BSA
- Derivatives
- Know Your Customer
- Audit Support
- Retirement Planning
- Fixed Income
- Internal Control
- Investment Management
- Anti-Money Laundering
- Financial Services
- Due Diligence
- Resolution
- Finance
- Accounting
- Reimbursement
- Analytical Skills
- Risk Management
- Strategy Development
- Auditing
- Written Communication
- Investigation
- Documentation
- Interpersonal Skills
- Implementation
- Verbal Communication
- Reporting
- Policy Development
- Filing
- Collaboration
- Education Experience
- Bachelor's Degree
- Sales
- Regulations
- Microsoft Excel
- Research Skills
- Microsoft Office
- Project Management
- Problem Solving
- Staff Supervision
- Scheduling
- Time Management
- Leadership
- Communication Skills
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Here are some other career titles that require similar skills
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